Richard Stephen Pluta

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1982 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2011 → Present
  Bank Of America, N.A.
  New York, NY

Other Businesses

I*101253FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: MOBILE TRAUMA UNITINVESTMENT RELATED: NADDRESS OF BUSINESS:GARRISON, NEW YORK 10524NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: PARTICIPANT, START DATE OF RELATIONSHIP: 1/22/2014NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: VOLUNTEER/FUNDRAISING EFFORTS FOR THE MTU, A CHARITY THAT PROVIDES FIRST RESPONSE TO DISASTER AREAS I*100747FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: COMPANIONS IN COURAGEINVESTMENT RELATED: NADDRESS OF BUSINESS:HUNTINGTON, NEW YORK 11743NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 7/21/1999NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: HELP TO COORDINATE FUNDRAISING EVENTS AND ASSIST IN EFFORTS TO GET NEW PLAYROOMS FOR KIDS IN CHILDREN'S HOSPITALS BUILT. I*3691270 Entity Type: N/A Name of OBA: C L P Address: Greenwich, Connecticut, 6830 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/02/2026 Number of Hours: 0, Monthly Number of Hours during trading: 0, Monthly Duties: Child/Grandchild I*3691271 Entity Type: N/A Name of OBA: MLPF& S CUST FPO C L P RRA FBO C L P Address: Greenwich, Connecticut, 6830 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/01/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Child/Grandchild I*3802277, Entity Type: , Name of OBA: C P, Address: Greenwich, Connecticut, 06830, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 01/29/2026, No Hours: 12 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3802278, Entity Type: , Name of OBA: A P, Address: Greenwich , Connecticut, 06830, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 03/01/2026, No Hours: 12 Yearly, No Hours during Trading: 1 Yearly, Duties: I*3809265, Entity Type: , Name of OBA: C P, Address: greenwich, Connecticut, 06830, Investment Related: N, Position, Title, Association: Power of Attorney, Employee Start Date: 01/15/2026, No Hours: 12 Yearly, No Hours during Trading: 1 Yearly, Duties:

Exams

• S63 Uniform Securities Agent State Law Examination
  1984-02-09

Other Names

• Richard S Pluta